-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Qgpk070LfQHLhkFwFkwM9moq/AbMa+1nPyf70tO912gzCGEb3KVUFFBjnsq9ID3K 3+tLfZZFwBHy4Yu4jEoSGA== 0001019687-10-000109.txt : 20100112 0001019687-10-000109.hdr.sgml : 20100112 20100112081621 ACCESSION NUMBER: 0001019687-10-000109 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100108 FILED AS OF DATE: 20100112 DATE AS OF CHANGE: 20100112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWARTZ ERIC S CENTRAL INDEX KEY: 0001244108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 10521497 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PEREGRINE PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000704562 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 953698422 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 14282 FRANKLIN AVE CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 7145086000 MAIL ADDRESS: STREET 1: 14282 FRANKLIN AVE CITY: TUSTIN STATE: CA ZIP: 92780 FORMER COMPANY: FORMER CONFORMED NAME: TECHNICLONE CORP/DE/ DATE OF NAME CHANGE: 19970924 FORMER COMPANY: FORMER CONFORMED NAME: TECHNICLONE INTERNATIONAL CORP DATE OF NAME CHANGE: 19920703 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-01-08 0000704562 PEREGRINE PHARMACEUTICALS INC PPHM 0001244108 SWARTZ ERIC S C/O PEREGRINE PHARMACEUTICALS, INC. 14282 FRANKLIN AVENUE TUSTIN CA 92780 1 0 0 0 Common Stock, $.001 par value 2010-01-08 4 P 0 2000 3.05 A 22000 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 403 3.08 A 22403 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 930 3.09 A 23333 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 5500 3.10 A 28833 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 2000 3.11 A 30833 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 2000 3.14 A 32833 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 1000 3.14 A 33833 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 1000 3.15 A 34833 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 667 3.16 A 35500 I By Highlight Fund, LLC Common Stock, $.001 par value 2010-01-08 4 P 0 4500 3.16 A 40000 I By Highlight Fund, LLC Common Stock, $.001 par value 438379 D Common Stock, $.001 par value 107739 I By Swartz Ventures, Inc. Non-Qualified Stock Option (right to buy) Common Stock 190000 D Includes 52,978 shares held in an Individual Retirement Account (IRA) for the benefit of Eric S. Swartz. N/A Paul Lytle, Power of Attorney for Eric S. Swartz 2010-01-12 -----END PRIVACY-ENHANCED MESSAGE-----